Daniel Harry Curkan, of Clearwater, Florida, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he did not communicate with FINRA regarding his compliance with the terms and conditions of a customer initiated investment related arbitration settlement or award. Case No. 14-02221 (Apr. 25, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Curkan has been named in five more customer initiated investment related disputes concerning allegations of his wrongdoing while he was associated with First Union Securities, Inc., Wachovia Securities, Inc., and Wells Fargo Advisors, LLC. Specifically, on June 1, 2001, a customer filed a written complaint involving Curkan’s conduct, in which the customer requested $21,510.00 in damages based upon allegations that Curkan made investment based misrepresentations to the customer.
Subsequently, on November 25, 2002, a customer filed an investment related written complaint regarding Curkan’s activities, where the customer sought $6,902.95 in damages based upon allegations that Curkan induced the customer’s purchase of a variable annuity product despite convincing the customer that the annuity was fixed. Moreover, on September 17, 2003, a customer filed an investment related written complaint concerning Curkan’s conduct, in which the customer requested $59,354.31 in damages based upon allegations that he effected mutual funds transactions in the customer’s account that were not appropriate for the customer based upon the customer’s objectives for investing.
Further, on August 24, 2004, a customer filed an investment related written complaint regarding Curkan’s activities, where the customer requested $452,000.00 in damages supported by allegations that Curkan effected unsuitable mutual fund transactions in the customer’s account, causing the customer to sustain substantial investment losses. Curkan has also been named in a customer initiated investment related written complaint on December 9, 2011, based upon allegations against Curkan of facilitating an unsuitable variable annuity transaction for the customer.
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